FORM 8.3 – NORTONLIFELOCK INC

LONDON--()-- 

FORM 8.3

PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY

A PERSON WITH INTERESTS IN RELEVANT SECURITIES REPRESENTING 1% OR MORE

Rule 8.3 of the Takeover Code (the “Code”)

1. KEY INFORMATION

(a) Full name of discloser:

Barclays PLC.

 
(b) Owner or controller of interest and short

 

positions disclosed, if different from 1(a):
(c) Name of offeror/offeree in relation to whose

NORTONLIFELOCK INC

relevant securities this form relates:
(d) If an exempt fund manager connected with an

 

offeror/offeree, state this and specify identity of
offeror/offeree:
(e) Date position held/dealing undertaken:

19 July 2021

(f) In addition to the company in 1(c) above, is the discloser making

YES:

disclosures in respect of any other party to the offer?

AVAST PLC

2. POSITIONS OF THE PERSON MAKING THE DISCLOSURE

If there are positions or rights to subscribe to disclose in more than one class of relevant securities of the offeror or offeree named in 1(c), copy table 2(a) or (b) (as appropriate) for each additional class of relevant security.

(a) Interests and short positions in the relevant securities of the offeror or offeree to which the disclosure relates following the dealing (if any)

Class of relevant security: USD 0.01 common

Interests

Short Positions

Number

(%)

Number

(%)

(1)

Relevant securities owned

 

 

 

 

and/or controlled:

1,880,660

0.32%

183,909

0.03%

 

 

 

 

(2)

Cash-settled derivatives:

 

 

 

 

24,339

0.00%

1,279,498

0.22%

 

 

 

 

(3)

Stock-settled derivatives (including options)

 

 

 

 

and agreements to purchase/sell:

500

0.00%

2,100

0.00%

 

 

 

 

 

 

 

 

TOTAL:

1,905,499

0.33%

1,465,507

0.25%

 
Class of relevant security: Convertible Bond US668771AA66
Interests Short Positions

Number

(%)

Number

(%)

(1)

Relevant securities owned

 

 

 

 

and/or controlled:

129,000

0.02%

0

0.00%

 

 

 

 

(2)

Cash-settled derivatives:

 

 

 

 

0

0.00%

0

0.00%

 

 

 

 

(3)

Stock-settled derivatives (including options)

 

 

 

 

and agreements to purchase/sell:

0

0.00%

0

0.00%

 

 

 

 

 

 

 

 

TOTAL:

129,000

0.02%

0

0.00%

All interests and all short positions should be disclosed.

Details of any open stock-settled derivative positions (including traded options), or agreements to purchase or sell relevant securities, should be given on a Supplemental Form 8 (Open Positions).

(b) Rights to subscribe for new securities (including directors’ and other employee options)

Class of relevant security in relation to which subscription right exists:

 

Details, including nature of the rights concerned and relevant percentages:

 

3. DEALINGS (IF ANY) BY THE PERSON MAKING THE DISCLOSURE

Where there have been dealings in more than one class of relevant securities of the offeror or offeree named in 1(c), copy table 3(a), (b), (c) or (d) (as appropriate) for each additional class of relevant security dealt in.

The currency of all prices and other monetary amounts should be stated.

(a) Purchases and sales

Class of relevant

Purchase/sale

Number of

Price per unit

security

 

securities

 

USD 0.01 common

Purchase

6

22.2250 EUR

USD 0.01 common

Purchase

45

26.0800 USD

USD 0.01 common

Purchase

72

25.9000 USD

USD 0.01 common

Purchase

100

26.0450 USD

USD 0.01 common

Purchase

100

26.0100 USD

USD 0.01 common

Purchase

283

26.0376 USD

USD 0.01 common

Purchase

300

26.1700 USD

USD 0.01 common

Purchase

400

26.0499 USD

USD 0.01 common

Purchase

405

26.0424 USD

USD 0.01 common

Purchase

500

26.0500 USD

USD 0.01 common

Purchase

500

26.1300 USD

USD 0.01 common

Purchase

550

26.0700 USD

USD 0.01 common

Purchase

600

26.0433 USD

USD 0.01 common

Purchase

630

26.0685 USD

USD 0.01 common

Purchase

984

26.0430 USD

USD 0.01 common

Purchase

1,100

25.9936 USD

USD 0.01 common

Purchase

1,194

26.0478 USD

USD 0.01 common

Purchase

1,598

25.9975 USD

USD 0.01 common

Purchase

1,758

26.0199 USD

USD 0.01 common

Purchase

2,340

26.0134 USD

USD 0.01 common

Purchase

2,500

25.9998 USD

USD 0.01 common

Purchase

2,744

25.9968 USD

USD 0.01 common

Purchase

2,808

25.9803 USD

USD 0.01 common

Purchase

2,900

25.9596 USD

USD 0.01 common

Purchase

3,590

26.0455 USD

USD 0.01 common

Purchase

3,722

25.9818 USD

USD 0.01 common

Purchase

3,854

26.0278 USD

USD 0.01 common

Purchase

3,900

26.0353 USD

USD 0.01 common

Purchase

4,416

26.0063 USD

USD 0.01 common

Purchase

4,501

26.0024 USD

USD 0.01 common

Purchase

5,156

26.0015 USD

USD 0.01 common

Purchase

5,907

26.0191 USD

USD 0.01 common

Purchase

6,100

26.0231 USD

USD 0.01 common

Purchase

8,411

25.9835 USD

USD 0.01 common

Purchase

8,625

25.9882 USD

USD 0.01 common

Purchase

15,054

25.9915 USD

USD 0.01 common

Purchase

27,607

26.0002 USD

USD 0.01 common

Purchase

33,900

26.0177 USD

USD 0.01 common

Purchase

36,964

26.0400 USD

USD 0.01 common

Purchase

42,164

26.0260 USD

USD 0.01 common

Purchase

58,731

26.0399 USD

USD 0.01 common

Purchase

131,184

26.0268 USD

USD 0.01 common

Sale

3

25.8700 USD

USD 0.01 common

Sale

4

25.9600 USD

USD 0.01 common

Sale

6

22.2250 EUR

USD 0.01 common

Sale

8

25.9150 USD

USD 0.01 common

Sale

12

26.0033 USD

USD 0.01 common

Sale

16

25.9737 USD

USD 0.01 common

Sale

29

26.0855 USD

USD 0.01 common

Sale

33

26.0263 USD

USD 0.01 common

Sale

36

25.9688 USD

USD 0.01 common

Sale

36

25.9344 USD

USD 0.01 common

Sale

52

25.9753 USD

USD 0.01 common

Sale

57

25.9817 USD

USD 0.01 common

Sale

60

25.9700 USD

USD 0.01 common

Sale

72

25.9000 USD

USD 0.01 common

Sale

100

26.0200 USD

USD 0.01 common

Sale

300

26.1700 USD

USD 0.01 common

Sale

348

25.9612 USD

USD 0.01 common

Sale

400

26.0887 USD

USD 0.01 common

Sale

400

26.0050 USD

USD 0.01 common

Sale

480

26.0029 USD

USD 0.01 common

Sale

533

26.0408 USD

USD 0.01 common

Sale

550

26.0700 USD

USD 0.01 common

Sale

552

26.0580 USD

USD 0.01 common

Sale

600

26.1300 USD

USD 0.01 common

Sale

640

26.0244 USD

USD 0.01 common

Sale

774

26.0647 USD

USD 0.01 common

Sale

1,000

26.0870 USD

USD 0.01 common

Sale

1,099

26.0435 USD

USD 0.01 common

Sale

1,100

26.0350 USD

USD 0.01 common

Sale

1,419

25.9171 USD

USD 0.01 common

Sale

1,596

26.0443 USD

USD 0.01 common

Sale

1,781

25.9572 USD

USD 0.01 common

Sale

1,904

25.9100 USD

USD 0.01 common

Sale

2,470

26.0420 USD

USD 0.01 common

Sale

2,630

26.0539 USD

USD 0.01 common

Sale

3,638

26.0067 USD

USD 0.01 common

Sale

3,859

25.9972 USD

USD 0.01 common

Sale

5,052

25.9739 USD

USD 0.01 common

Sale

6,169

25.9609 USD

USD 0.01 common

Sale

6,369

26.0089 USD

USD 0.01 common

Sale

7,587

26.0105 USD

USD 0.01 common

Sale

8,332

25.9968 USD

USD 0.01 common

Sale

9,791

26.0065 USD

USD 0.01 common

Sale

13,729

26.0080 USD

USD 0.01 common

Sale

14,960

25.9994 USD

USD 0.01 common

Sale

15,896

26.0148 USD

USD 0.01 common

Sale

19,661

26.0365 USD

USD 0.01 common

Sale

21,456

26.0230 USD

USD 0.01 common

Sale

41,403

26.0229 USD

USD 0.01 common

Sale

64,800

26.0168 USD

USD 0.01 common

Sale

69,812

26.0282 USD

USD 0.01 common

Sale

93,302

26.0400 USD

(b) Cash-settled derivative transactions

Class of relevant security

Product description

e.g. CFD

Nature of dealing

e.g. opening/closing a long/short position, increasing/reducing a long/short position

Number of reference securities

Price per unit

 

 

 

 

 

 

(c) Stock-settled derivative transactions (including options)

(i) Writing, selling, purchasing or varying

Class of relevant security

Product description e.g. call option

Writing, purchasing, selling, varying etc.

Number of securities to which option relates

Exercise price per unit

Type

e.g. American, European etc.

Expiry date

Option money paid/ received per unit

 

 

 

 

 

 

 

 

(ii) Exercise

Class of relevant security

Product description

e.g. call option

Exercising/ exercised against

Number of securities

Exercise price per unit

 

 

 

 

 

 

(d) Other dealings (including subscribing for new securities)

Class of relevant security

Nature of dealing

e.g. subscription, conversion

Details

Price per unit (if applicable)

 

 

 

 

 

4. OTHER INFORMATION

(a) Indemnity and other dealing arrangements

Details of any indemnity or option arrangement, or any agreement or understanding, formal or informal, relating to relevant securities which may be an inducement to deal or refrain from dealing entered into by the person making the disclosure and any party to the offer or any person acting in concert with a party to the offer:

Irrevocable commitments and letters of intent should not be included. If there are no such agreements, arrangements or understandings, state “none”

 

None

 

(b) Agreements, arrangements or understandings relating to options or derivatives

Details of any agreement, arrangement or understanding, formal or informal, between the person making the disclosure and any other person relating to:

(i) the voting rights of any relevant securities under any option; or

(ii) the voting rights or future acquisition or disposal of any relevant securities to which any derivative is referenced:

If there are no such agreements, arrangements or understandings, state “none”

 

None

 

(c) Attachments

Is a Supplemental Form 8 (Open Positions) attached?

YES

Date of disclosure:

20 Jul 2021

Contact name:

Large Holdings Regulatory Operations

Telephone number:

020 3134 7213

Public disclosures under Rule 8 of the Code must be made to a Regulatory Information Service.

The Panel’s Market Surveillance Unit is available for consultation in relation to the Code’s disclosure requirements on +44 (0)20 7638 0129.

*If the discloser is a natural person, a telephone number does not need to be included, provided contact information has been provided to the Panel’s Market Surveillance Unit.

The Code can be viewed on the Panel’s website at www.thetakeoverpanel.org.uk.

SUPPLEMENTAL FORM 8 (OPEN POSITIONS)

DETAILS OF OPEN STOCK-SETTLED DERIVATIVE (INCLUDING OPTION) POSITIONS, AGREEMENTS TO PURCHASE OR SELL ETC.

Note 5(i) on Rule 8 of the Takeover Code (the “Code”)

1. KEY INFORMATION

Identity of the person whose positions/dealings Barclays PLC.
are being disclosed:
Name of offeror/offeree in relation to whose NORTONLIFELOCK INC
relevant securities this from relates:

2. STOCK-SETTLED DERIVATIVES (INCLUDING OPTIONS)

Class

Product

Writing,

Number

Exercise

Type

Expiry

of

description

purchasing,

of

price

 

date

relevant

 

selling,

securities

per unit

 

 

security

 

varying etc

to which

 

 

 

 

 

 

option

 

 

 

 

 

 

relates

 

 

 

USD 0.01 common

Call Options

Purchased

500

27.0000

American

21 Jan 2022

USD 0.01 common

Put Options

Purchased

-2,100

30.0000

American

21 Jan 2022

3. AGREEMENTS TO PURCHASE OR SELL ETC.

Full details should be given so that the nature of the interest or position can be fully understood:

 

 

 

 

 

It is not necessary to provide details on a Supplemental Form (Open Positions) with regard to cash-settled derivatives.

The currency of all prices and other monetary amounts should be stated.

The Panel’s Market Surveillance Unit is available for consultation in relation to the Code’s disclosure requirements on +44 (0)20 7638 0129.

The Code can be viewed on the Panel’s website at www.thetakeoverpanel.org.uk.

Category Code: RET
Sequence Number: 741864
Time of Receipt (offset from UTC): 20210720T112129+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC